UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT CIVIL APPEAL PRE-ARGUMENT STATEMENT (FORM C)

1. SEE NOTICE ON REVERSE. 2. PLEASE TYPE OR PRINT. 3. STAPLE ALL ADDITIONAL PAGES

Case Caption: District Court or Agency: Judge:

BEACON ASSOCIATES LLC I, BEACON ASSOCIATES LLC II, S.D.N.Y. M.J. Andrew J. Peck ANDOVER ASSOCIATES LLC I, ANDOVER ASSOCIATES (q) LLC

vs. Date the Order or Judgment Appealed District Court Docket No.: from was Entered on the Docket:

BEACON ASSOCIATES MANAGEMENT CORP., ANDOVER April 8, 2015 No. 14-cv-02294 (AJP) ASSOCIATES MANAGEMENT CORP., INCOME PLUS INVESTMENT

FUND, DAVID FASTENBERG, TRUSTEE, LONG ISLAND VITREO-RETINAL CONSULTANTS 401 K FBO DAVID FASTEN BERG, Date the Notice of Appeal was Filed: Is this a Cross Appeal? ETAL.

April14, 2015 Yes .f No

Attorney(s) for Counsel's Name: Address: Telephone No.: Fax No.: E-mail: Appellant(s):

Plaintiff Mitchell P. Hurley Akin Gump Strauss Hauer & Feld LLP (212) 872-1011 (212) 872-1002 mhurley@akingump.com One Bryant Park, 41st Floor New York, NY 10036

Defendant

Interested part~

Attorney(s) for Counsel's Name: Address: Telephone No.: Fax No.: E-mail: Appellee(s):

Please refer to Addendum C. Plaintiff

Defendant

Has Transcript Approx. Number of Number of Has this matter been before this Circuit previously? Yes .f No Been Prepared? Transcript Exhibits

Pages: Appended to If Yes, provide the following: Transcript:

Yes 86 pages 0 Case Name:

2dCir. DocketNo.: Reporter Citation: (i.e., F.3d or Fed. App.)

ADDENDUM "A": COUNSEL MUST ATTACH TO THIS FORM: (1) A BRIEF, BUT NOT PERFUNCTORY, DESCRIPTION OF THE NATURE OF THE ACTION; (2) THE RESULT BELOW; (3) A COPY OF THE NOTICE OF APPEAL AND A CURRENT COPY OF

THE LOWER COURT DOCKET SHEET; AND (4) A COPY OF ALL RELEVANT OPINIONS/ORDERS FORMING THE BASIS FOR THIS APPEAL, INCLUDING TRANSCRIPTS OF ORDERS ISSUED FROM THE BENCH OR IN CHAMBERS.

ADDENDUM "B": COUNSEL MUST ATTACH TO THIS FORM A LIST OF THE ISSUES PROPOSED TO BE RAISED ON APPEAL, AS WELL AS THE APPLICABLE APPELLATE STANDARD OF REVIEW FOR EACH PROPOSED ISSUE.

PART A: JURISDICTION

1. Federal Jurisdiction 2. Appellate Jurisdiction

U.S. a party Diversity .f Final Decision Order Certified by District Judge (i.e., Fed. R. Civ. P. 54(b))

.; Federal question Other (specify): Interlocutory Decision (U.S. not a party) Appealable As of Right Other (specify):

IMPORTANT. COMPLETE AND SIGN REVERSE SIDE OF THIS FORM.

PARTB: DISTRICT COURT DISPOSITION (Check as many as apply)

I. Stage of Proceedings 2 . T:i~!e of Judgment/Order A[![!ealed 3. Relief

.{ Pre-trial Default judgment DismissaVother jurisdiction .{ )amages: Injunctions: During trial Dismissal/FRCP 12(b)(l) Dismissal/merit After trial lack of subj. matter juris. .{ Judgment I Decision of the Court .{ Sought: $ 4.166.1sGOo Preliminary

Dismissal/FRCP 12(b)(6) Summary judgment Granted:$ --- Permanent failure to state a claim Declaratory judgment Denied: $ --- Denied

Dismissal/28 U.S.C. § 1915(e)(2) Jury verdict frivolous complaint Judgment NOV

Dismissal/28 U.S.C. § 1915(e)(2) Directed verdict other dismissal Other (specify):

PARTC: NATURE OF SUIT (Check as many as apply)

I. Federal Statutes 2. Torts 3. Contracts 4. Prisoner Petitions

Antitrust Communications Freedom of Information Act Admiralty/ Admiralty/ Civil Rights Bankruptcy Consumer Protection Immigration Maritime Maritime Habeas Corpus Banks/Banking Copyright o Patent Labor Assault/ Arbitration Mandamus Civil Rights Trademark OSHA Defamation Commercial Parole Commerce, Election Securities FELA Employment Vacate Sentence Energy Soc. Security Tax Products Liability Insurance Other Commodities Environmental Other (Specify): Negotiable Other (specify): Instruments

Other Specify

5. Other 6. General 7. Will appeal raise constitutional issue(s)? Arbitration Yes .{ No

Forfeiture/Penalty Attorney Disqualification Real Property Class Action Will appeal raise a matter of first Treaty (specify): Counsel Fees impression?

.{1 Other (specify): Distribution order Shareholder Derivative Transfer Yes .{ No

1. Is any matter relative to this appeal still pending below? Yes, specify: .f No

2. To your knowledge, is there any case presently pending or about to be brought before this Court or another court or administrative agency which:

(A) Arises from substantially the same case or controversy as this appeal? Yes .{No

(B) Involves an issue that is substantially similar or related to an issue in this appeal? .f Yes No

If yes, state whether "A," or ./ ·'B," or Joth are applicable, and provide in the spaces below the following information on the other action(s):

Case Name: I Docket No. I Citation: In re Bernard L. Madoff Investment Securities 1 :15-cv-01151-PAE

I Court or Agency: S.D.N.Y. (on appeal from Bankr. S.D.N.Y.)

Name of Appellant: Diana Melton Trust, Dated 12/05/05

Date: Signature of Counsel o

Once you have filed your Notice of Appeal with the District Court or the Tax Court, you have only 14 days in which to complete the following important steps:

l. Complete this Civil Appeal Pre-Argument Statement (Form C); serve it upon all parties, and file it with the Clerk of the Second Circuit in accordance with LR 25 .I. 2. File the Court of Appeals Transcript Information/Civil Appeal Form (Form D) with the Clerk of the Second Circuit in accordance with LR 25.1. 3. Pay the$505 docketing fee to the United States District Court or the $500 docketing fee to the United States Tax Court unless you are authorized to prosecute the appeal without payment.

PLEASE NOTE: IF YOU DO NOT COMPLY WITH THESE REQUIREMENTS WITHIN 14 DAYS, YOUR APPEAL WILL BE DISMISSED. SEE LOCAL RULE 12.1.